Skip to content

Get Judicial Watch Updates!

DONATE

Judicial Watch • Lewis A. Kaplan – 2007

Lewis A. Kaplan – 2007

Lewis A. Kaplan – 2007

Page 1: Lewis A. Kaplan – 2007

Category:Federal Judges

Number of Pages:14

Date Created:December 11, 2008

Date Uploaded to the Library:November 07, 2014

Tags:Kaplan, Lewis A Kaplan, Lewis, Distribution, 2007, assets, INVESTMENTS, Codes, disclosure, reporting, report, Federal Judge, financial, income, Judge


File Scanned for Malware

Donate now to keep these documents public!


See Generated Text   ∨

Autogenerated text from PDF

UNITED STATES DISTRICT COURT 
SOUTHERN DISTRICT NEW YORK 
UNITE;.) STATES COURTHOUSE 
 
 
NEW YORK, NEW YORK 10007 
LEWIS KAPLAN 
DISTRICT JUDGE c-..:: r---:> 
(_() .,,.,.,(>17._) 
r.. er;:: (,.j 
September 11, 2008 ::::v ..:_._ r r ....... 
Committee Financial Disclosure 
Administrative Office United States Courts 
Suite 2-301 
One Columbus Circle, N.E. 
Washington, D.C. 20544 
 
Ladies and Gentlemen: 
This letter responds the questions contained the letter Judge.Ortrie Smith, dated September 2008, that require response. The nature the expenses are follows: 
line -Transportation, food and lodging line -Transportation line -Transportation, food and lodging line -Transportation Part VII, line 69, for Pimco Comm Real Return amended reflect (a) partial sale May 17, 2007, value code gain code and (b) sale June 22, 2007, value code gain code The Schwab account was closed September 27, 2006 when Schwab remitted check for the eighteen cents that stood her credit that date. Part VII, line 72, 2006 report therefore amended deleting the value and value method codes Column leaving those entries blank, and changing Column follows: 
(I) Closed 
(2) 
9/27/06 
 
(3) 
 
(4) 
 
 
VII, line 31, the 2007 report. 
 
 
AOJO Government Act 1978 
Rev. 112008 
FOR CALENDAR YEAR 2007 U.S.C. app.  101-111) Person Reporting (last name, first, middle initial) Kaplan, Lewis Court Organization U.S. District Court, S.D.N.Y. Date Report 07/31/2008 Title (Article Illjudges indicate active senior status; magistrate judges indicate full-or part-time) United States District Judge Sa. Report Type (check appropriate type) Nomination, Date Initial Annual Final Reporting Period 01/01/2007 12/31/2007 
Sb. Amended Report Cbamben Office Address U.S. Cowihouse 500 Pearl Street New York, 0007 the basis the information contained this Report and any modifications pertaining thereto, is, opioioo, compliance with applicable laws aod regolations. Reviewing Officer Date 
 
IMPORT ANT NOTES: The instructions accompanying this form must followed. Complete all parts, checking the NONE box for each part where you have reportable information. Sign last page. POSITIONS. (Reporting imlividua/ only; see pp. 9-13 filing instructions.) NONE (No reportable positions.) Partner 
 
Trustee 
 
II. AGREEMENTS, (Reporting indMdua/ only; see pp.14-16 filing instructions.) NONE (No reportable agreements.) 
 
 
Date Report 
Kaplan, Lewis 
07/31/2008 
III. NON-INVESTMENT INCOME. (RqwrdngindMdualandspouse;seepp.17-24ofjilinginstructions.) Filers Non-Investment Income NONE (No reportable non-investment income.) 
 
 
(yours, not spouses) 9-13-07 Marsh McLennan class action settlement payment $10.06 Spouses Non-Investment Income -If you were married during any portion the rqwrdng year, complete this section. 
(Dollar amount not required except for honoraria.) NONE (No reportable non-investment income.) Various Pension and retirement plan pmts -pension plans for benefit retirees Random House, Inc. 
 
 
 
IV. REIMBURSEMENTS -transpomuion, lodging, food, entertainment. (Includes those spouse and dependent children; see pp. 25-27 filing instructions.) NONE (No reportable reimbursements.) American Bar Association, Section Antitrust Law 4/18-20/2007 Washington, D.C. Meeting $1020 Georgetown Law Center/NatI Assn Criminal Defense Lawyers American Bar Association, Section Antitrust Law 9/27/07 8/13-16-2007 Washington, D.C. Whistler, B.C. Meeting Meeting $448.00 $3394 
 
 
University Rochester 5/19-20/2007 Rochester, Commencement 
 
Date Report 
Kaplan, Lewis 
07/31/2008 
 
 
Date Report 
Kaplan, Lewis 
07/31/2008 GIFTS. (Includes those spouse and dependent children; see pp. 28-31 filing instructions.) NONE (No reportable gifts.) Virginia Richard Wine, plants, salad items, kite VALUE $250-350 
 
 
VI. LIABILITIES. (lnclud those spouse and dependent children; see pp. 32-33 filing instructions.) NONE (No reportable liabilities.) 
 
 
 
 
 
VII. INVESTMENTS and TRUSTS 1nco,,,e. value, mutsllctions (Includes those spouse and dependent children; see PP. 1uo fumg 1ns1n1ctions.J NONE (No reportable income, assets, transactions.) 
 
 
Name Person Reporting 
Date Report 
Kaplan, Lewis 
07/31/2008 
VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those spouse and dqwrdent chi/Jren; Si!I! pp. 34-60 offtlbtg instnu:tWns.) NONE (No reportable income, assets, transactions.) 
Description Assets (inclu ding trust assets) 
Type(e.g., 
Place (X) after 
each asset 
exempt from prior discl osure Inc ome during reporting period .c. Gross value end reporting period Transactions ring repor ting period 
(1) ount Code (A-H) (2) Type (e.g., div., rent, int.) (1) lue Code2 (J-P) (2) (1) Value Method buy, sel Code3 redemption) (Q-W) (2) Date Month -Day (3) Value Code2 (J-P) (4) Gain Code (A-H) (5) Identity buyer/sel ler (if private transaction) 
 
18. Puerto Rico MFA  Interest None 
19. 
NYS Dorm 5.125  Interest None 
 
20. 
Triboro BTA 4.75 Interest None 
 
21. 
NYC Mun Wtr 4.9 Interest None 
 
22. 
Commack UFSD 4.375 Interest None 
 
23. 
NYS Twy 5.125 Interest None 
 
24. Glens Falls CSD 5.25 Interest None 
 
25. Tran atMTA 5.2 Interest None 
 
26. 
NYS Env Fae 5.125 Interest None 
 
 
NYS Dorm 5.125 Interest None 
28. 
NYS Dorm 5.1  Interest None 
 
29. 
NYS Env Fae 4.55 Interest None 
 
30. 
NYS Env Fae 4.95 Interest None 
 
31. Bk/BT RASP Interest 
 
32. 
NYC Trans 5.0 Interest None 
 
33. 
Greece CSD 4.5 Interest None 
 
 
NYS Env Fae 4.2 Interest Sell Income Gain Code.: 1,000 less =$1,001  $2,500 =$2,501  $5,000 D=$5,00I -$15,000 =$15,001 -$50,000 
(See Cohunns and D4) F=$50,001  $100,000 G=SI00,001  $1,000,000 =$1,000,001  $5,000,000 =More than $5,000,000 Value Codes =$15,000 less K=$15,001  $50,000 =$50,001  $100,000 =$100,001  $250,000 
(See Columns and D3) N=$250,001  $500,000 0=$500,001  $1,000,000 =$1,000,001  $5,000,000 =$5,000,001  $25,000,000 =$25,000,001  $50,000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment T=Cash Market 
(See Column C2) =Book Value =Other =Estimated 
 
 
Date Report 
Kaplan, Lewis 
07/31/2008 
VII. INVESTMENTS and TRUSTS -income, va111e, transactions (Induda thOSI! spouse and dependent childra; see pp. 1,o filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end Transactions during reporting period 
(including trust assets) reporting period reporting period 
 
(I) (2) (2) 
(3) 
(2) 
(5) 
Place (X) after each asset exempt from prior disclosure Amount Code (A-H) Type (e.g., div., rent, int.) Value Code (J-P) Value Method Code (Q-W) 
35. MTA4.012 Interest 
 
36. MTA4.013 Interest 
Type (e.g., buy, sell, redemption) 
Sell 
Sell 
Date Value 
Gain 
Identity Month- 
Code 
Code 
buyer/seller Day (J-P) 
(A-H) 
(if private transaction) 
5-4 
5-4 
NYC 4.375  Interest None 
38. 
FNMA5.012 Interest None 
 
39. 
TriboroBTA3.7513 Interest Sell 
40. 
William Floyd UFSD 4.125 Interest Sell 5-4 
 
41. 
MTA5.0 Interest None GECC4.7513 Interest None 
Nat City flea Provident Bank 5.0 Interest None 
44. FHLMC multi% Interest None 
Hudson United 5.05 Interest None 
46. NYC Ser 4.625 Interest None 
47. 
NYS Dorm 5.0 (mult. issues) Interest None 
 
48. 
MTA4.7526 Interest None 
 
49. 
Long Island Pwr Interest None NYS Dorm 4.75 Interest None 
51. Western Bank Puerto Rico Interest None Income Gain Codes: (See Columns and 04) Value Codes (See Columns and DJ) Value Method Codes (See Column C2) -------- =$1,000 Jess =$50,001  $100,000 =$15,000 less =$250,001  $500,000 =$25,000,001  $50,000,000 =Appraisal =Book Value ------- =$1,001  $2,500 =$100,001 -$1,000,000 =$15,001-$50,000 =$500,001. $1,000,000 =Cost (Real Estate Only) =Other =$2,501  $5,000 =$1,000,001-$5,000,000 =$50,001  $100,000 =$1,000,001-$5,000,000 =More than $50,000,000 =Assessment =Estimated =$5,00l -$15,000 =Mon: than $5,000,000 =$100,001. $250,000 =$5,000,001-$25,000,000 =Cash Market ------- =$15,001  $50,000 
 
 
Date Report 
Kaplan, Lewis 
07/31/2008 
VII. INVESTMENTS and 1nco,,,e, value, trruisactions (lndut1e:s those spouse and dependent children; see pp. 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) Description Assets (including trust assets) Income during 
Gross value end 
Transactions during reporting period reporting period 
reporting period 
Type (e.g., buy, sell, redemption) 
(2) 
(I) 
(I) (2) Date Month-Day (3) Value Code (J-P) (4) Gain Code (A-H) (5) Identity buyer/seller (if private transaction) 
 
Amount 
Value 
Type (e.g., 
Value 
Place (X) after each asset 
Code 
div., rent, 
Method 
Code 
exempt from prior disclosure 
Code3 int.) 
(J-P) 
(Q-W) 
52. 
Bank Amer 4.65 Interest None 
 
53. 
Capitol One 4.75 Interest None 
 
54. 
Port Auth NYNJ 4.2 19. Interest None 
 
 
56. 
NYS Dorm 4.625  Interest None Morgan Chase accts  Interest 
57. Life whole life policies Divi den None 
 
58. CMA Mun Money Interest 
 
 
MTAAdj%26 Interest None 
60. CMA Mun Money. Interest 
 
61. 
MTAAdj%26. Interest None 
 
62. 
Ulster 4.25 Interest None 
 
63. 
NYS Dorm 4.0 19. Interest None 
 
64. 
Banco Bilbao 4.46 Interest None 
 
65. 
First Eagle Global Distribution 
 
66. 
Davis Venture Distribution 
 
67. 
Blackrock Large Cap Value f/k/a Large Distribution Cap Value 
 
68. 
Everegreen Values Distribution Income Gain Codes: 11,000 orle =$1,001 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000 =$15,001 -$50,000 
(See Columns and 04) =$50,001 -$100,000 =$100,001 -$1,000,000 =$1,000,001-$5,000,000 =More than $5,000,000 Value Codes  =$15,000or less =$15,001 -$50,000 =$50,001 -$100,000 =$100,001 -$250,000 
(See Columns and 03) =$250,001 -$500,000 =$500,001 -$1,000,000 =$1,000,001 -$5,000,000 =$5,000,001 -$25,000,000 =$25,000,001 -$50,000,000 =More than $50,000,000 Value Method Codes Q=Appraisal =Cost (Real Estate Only) Assessment =Cash Market 
(See Column C2) =Book Value =-Other =Estimated 
 
 
VII. INVESTMENTS and TRUSTS income, value, transactions (lndutks t11ose spouse ll1Ui depnli1etr1 c1tildren; see PP. 1uo of.filing instructions.) NONE (No reportable income, assets, transactions.) 
Inc ome dilling Gross value end ansactions during reporting period 
Description Assets 
repor ting period repor ting period 
(inc ding trust assets 
(I) 
(2) (I) 
(4)(1) (2) 
Pla (X) after set Amou Type (e.g., Value lue 
exempt from prior disclosure Code div., rent Code2 Method A-H) int.) (J-P) Code3 
(Q-W) 
 
69. Pimco Comm Real Return 
Distribution 
Type (e.g., buy sell, redemption) 
Date 
Month- 
Day 
 
Value Gain Identit 
Code2 Code buyer/seller 
(J-P) A-H) (if private 
transaction) 
 
70. 
Pioneer Oak Ridge Small Cap Distribution 
 
71. 
Goldman Sachs Mid Cap Distribution 
 
 
Amer Inc Fund Distribution CMA Mun Money. Dividend Bank RASP. Interest 
New York SerN 4.05 17. Interest None 
Minisink CSD 4.0 12. Interest None 
77. Wayne CSD 4.0 20. Interest None 
Brookhaven CSD  Int./Div. None 
Amer Inc Amer Distribution 
80. Davis Venture Distribution 
81. 
Goldman Sachs Mid Cap  Distribution 
 
82. 
Pimco Comm Real Return  Distribution 
 
 
Penn Mut f/k/a Royce. Distribution 
84. DWS Dreman f/k/a Scudder High Return Distribution 
85. Oakmark Select. Distribution Income Gain Codes: =$1,000 less =$1,00! -$2,500 =$2,501  $5,000 =$5,001. $15,000 =$15,001  $50,000 
(See Columns and 04) =$50,001 $100,000 G=Sl00,001-$1,000,000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes =$15,000orless =$15,001 -$50,000 =$50,001-$100,000 =$100,001  $250,000 
(See Columns and 03) =$250,001 -$500,000 0=$500,001-$1,000,000 =$1,000,001 -$5,000,000 =$5,000,001 $25,000,000 =$25,000,001 -$50,000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market 
(See Column C2) =Book Value =Other =Estimated 
 
 
Date Report 
Kaplan, Lewis 
07/31/2008 
VII. INVESTMENTS and TRUSTS mco,,,e, va111e. 111U1silctions (lnd11des thost! ofspo11tt wu1 dq>endenJ children; seePP. 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) Description Assets (including trust assets) Income dilling reporting period Gross value end reporting period Transactions during reporting period 
Place (X) after each asset exempt from prior disclosure (I) Amount Code (A-H) (2) Type(e.g., div., rent, int.) (I) Value Code (J-P) (2) Value Method Code (Q-W) (I) Type (e.g., buy, sell, redemption) (2) Date Month-Day (3) Value Code (J-P) (4) Gain Code (A-H) (5) Identity buyer/seller (if private transaction) 
 
86. 
Community BT 4.4  Interest None 
 
87. 
FNMA multi%  Interest None 
 
88. 
FNMA multi%  Interest None 
 
89. 
HSBC Fin Corp 4.65 Interest None 
 
90. 
Principal Life Inc. 5.0  Interest None 
 
91. 
GECC 5.016 Interest None 
 
92. 
NYS Donn 4.0  Interest None 
 
93. 
National Union Bank of[locality] Int./Div. 
 
 
Countrywide Bank 4.4 Interest Redemption 1-12 
Southside Bank 5.35 Interest 
96. 
Lehman Bros Bank 6.0 Distribution Redemption 5-31 
 
97. 
Ivy Asset Strat Distribution 
 
98. 
New York NYIDA 4.017 Interest 
 
99. 
Clarkstown 4.25  Interest Buy 7-26 
 
100. 
MBank 5.00 Interest Buy 1-4 
 
101. 
Geauga Sav 5.2 Interest Buy 5-18 
 
102. 
McFarland 5.35 Interest Buy 7-20 Income Gain Codes: =$1.000 less =St,OOt  $2,500 2.501  $5,000 5.001 t5,000 =$15,001 -$50,000 
(See Columns and D4) =$50,001  $100,000 =$100,001  St,000,000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes =$15,000 less =$15,001 -$50,000 =$50,001 -St00,000 00,00 -$250,000 
(See Columns and D3) =$250,001  $500,000 =$500,001 -Sl,000,000 =$1,000,001 -$5,000,000 =$5,000,001 -$25,000,000 =$25,000,001 -$50,000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Marl